APPENDIX A - CITABLE INFRACTIONS¶
With reference to Applicable Rules, Complaint Requirements & Potential Consequences for Specific Violations Shaded areas are new citable infractions
1 Unauthorized Access to MLS¶
| SECTION | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 1.1 | Use of MLS System by Unauthorized Party | Refer to Hearing Panel | 4, 5, 12.1, 12.2, 12.3 | No | Yes |
| 1.1.1 | Filing of False Participation Waiver | $500 fine per incident (in addition to 6 months MLS Fees for each sales person in violation of Waiver | 5.1.6 | No | Yes |
| 1.1.2 | Failure of Participant to Notify the MLS within 10 days of Termination, Transfer, or Addition of an Associate Under Participant’s License. | 1st Violation - Notice to Comply Failure to comply - $250 | 4.4 | Yes | Yes |
| 1.1.3 | Failure to meet all of the requirements as a Participant or Subscriber. | Loss of MLS Services (Note: Subscriber - loss of MLS services, Participant - loss of entire office MLS Services. | 4.1, 4.2 | No | Yes |
1.2 Misuse of MLS Information¶
| SECTION | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 1.2.1 | Reproducing, Distributing or Displaying MLS information for Unauthorized Purposes | $500 fine/ Refer to Hearing Panel | 12.15.2 | No | No |
| 1.2.2 | Reproducing, Distributing or Displaying Unauthorized Portions of the MLS Database | 1st Violation - Letter of Warning 2nd Violation - $100 3rd Violation - $200 | 12.15.1, 12.19.15 | Yes | Yes |
| 1.2.3 | Unauthorized Computer Download or Transmission of data | Refer to Hearing Panel & Legal Council | 12.15, 12.19.1 | No | No |
| 1.2.4 | Use of MLS in your website address or search name | Letter of Warning 1st Violation $300 2nd Violation $500 3rd Violation loss of IDX & MLS | 12.18 | No | Yes |
2 Loading Listings and Reporting Status Changes By Deadline¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 2.1 | Listing Not Loaded Within 3 days of Start of Listing | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 7.5 | Yes | Yes |
| 2.2 | Listing Waiver Not Submitted to MLS Within 3 days of Start Date of Listing | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 7.6 | Yes | Yes |
2.3 Status Changes Not Reported By Deadline¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 2.3.1 | Sale Not Reported by within 1 day after Close of Escrow | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 10.2 | Yes | Yes |
| 2.3.2 | Pending Sale Not Reported within 1 day after Ratification of Sales Contract | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 10.2 | Yes | Yes |
| 2.3.3 | Contingent Sale or Lease Not within 1 day after Ratification of Sales Contract | 1st Violation - Letter of Warning 2nd Violation - $100 3rd Violation - $200 Fine | 10.2 | Yes | Yes |
| 2.3.4 | Cancellation of Pending Sale Not Reported with day after Written Cancellation | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 10.3 | Yes | Yes |
| 2.3.5 | Any Change in the original listing Agreement, be in the MLS within one (1) day. Examples: * Price Change * Extending expiration date | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 7.8 | Yes | Yes |
| 2.3.6 | Resolution of Contingencies (Court confirmation, sale of buyer property) Not Reported within 1 day after Resolution | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 10.2 | Yes | Yes |
2.4 Unilateral Contractual Offer¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 2.4.1 | Unilateral Contractual Offer. Must make some offer of compensation | 1st Violation - Letter of Warning 2nd Violation - $200 Fine 3rd Violation - $300 Fine | 7.12 | No | Yes |
3 Reporting and Accuracy of Information¶
Submission of Listings That Do Not Satisfy the Requirements of the MLS Rules¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 3.1 | Must disclose potential short sales. Not allowed to place any reduction conditions on on compensation offered through the MLS | 1st Violation - Letter of Warning 2nd Violation - $200 Fine | 7.28 | No | Yes |
| 3.1.1 | Failure to Properly Classify Listing Type and Category | 1st Violation - Letter of Warning 2nd Violation - $200 Fine 3rd Violation - $300 Fine | 7.3 | No | Yes |
| 3.1.2 | Entry of Inaccurate or Non-Text Information Anywhere in a Listing | 1st Violation - Letter of Warning 2nd Violation - $200 Fine 3rd Violation - $300 Fine | 8.3 | Yes | Yes |
| 3.1.3 | Listing Information Incomplete or Not Kept Current | 1st Violation - Letter of Warning 2nd Violation - $200 Fine 3rd Violation - $300 Fine | 7.11 | No | Yes |
| 3.1.4 | Failure to Enter Accurate Information in a Required Field | 1st Violation - Letter of Warning 2nd Violation - $200 Fine 3rd Violation - $300 Fine | 7.11, 8.3 | Yes | Yes |
| 3.1.5 | Using a Data Field for a Purpose Other Than its Intended Use | TBD | 8.3 | ||
| 3.1.6 | Failure to Correct Incomplete or Inaccurate Information Within one (1) day after Notification by Staff | 1st Violation - $300 Fine 2nd Violation - $400 Fine 3rd Violation - $500 Fine | 8.2, 8.3 | No | Yes |
| 3.1.7 | Submission of Duplicate Listings by the Same Participant within the Same Key Property Type or Category | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 7.3 | No | Yes |
| 3.1.8 | Entry of Non-Property Specific Virtual Media Link Anywhere in a Listing (with the exception of confidential remarks) | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 12.15.2 | No | Yes |
| 3.1.9 | On Photos: Display of Agent Contact Information, such as Email, Addresses, Website Addresses, or other Non-Property Descriptive Text | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 11.5 | No | Yes |
| 3.1.10 | Use of Photographs on a Listing Without Proper Authorization | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 11.5 | Yes | Yes |
| 3.1.11 | Failure to enter photo or submit photo/image waiver to EBRDI within 3 days of entry of listing into MLS | 1st Violation - Letter of Warning 2nd Violation - $50 Fine 3rd Violation - $200 Fine | 11.5a | No | Yes |
| 3.2 | Failure to Withdraw a Cancelled listing by the end of the next business day after ratification of cancellation | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 7.9 | Yes | Yes |
| 3.3 | Failure to Report the Correct Sales Price on a Closed Sale | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 8.1 | Yes | Yes |
3.4 Purposely Manipulating the MLS System to Circumvent the Rules¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 3.4.1 | Entry of Inaccurate or Prohibited Information | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 8.3 | No | Yes |
| 3.4.2 | Posting of a Listing to the MLS Without Having a Written Listing Agreement | $250 Fine for each occurrences | 8.1 | Yes | Yes |
| 3.4.3 | Submitting a Listing as Withdrawn/Cancelled When Not Withdrawn/Cancelled by Seller | 1st Violation - Letter of Warning | 8.3 | Yes | Yes |
| 3.4.4 | Extending a Listing Without Written Authorization from the Seller | 1st Violation - Letter of Warning 2nd Violation - $150 Fine 3rd Violation - $300 Fine | 8.3 | Yes | Yes |
| 3.4.5 | Failure to Report a Dual or Variable Rate Commission | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 7.22 | No | Yes |
| 3.4.6 | Refusal to Report Accurate Information or to Correct Inaccurate Information | 1st Violation - Letter of Warning 2nd Violation - $300 Fine 3rd Violation - $400 Fine 4th Violation - $500 Fine | 8.3 | No | Yes |
| 3.4.7 | Failure to Present Offers. Listing Broker must present all offers to Seller(s) | 1st Violation - Letter of Warning 2nd Violation - $500 Fine 3rd Violation - $1000 Fine | 9.4 | Yes | Yes |
| 3.4.8 | Failure to Submit all Counter Offers. Listing Broker must present all offers to Seller(s) | 1st Violation - Letter of Warning 2nd Violation - $500 Fine 3rd Violation - $1000 Fine | 9.5 | Yes | Yes |
4 Remarks¶
4.1 Misuse of Remarks:¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 4.1.1 | Publishing Presentation Offer Date and/or Time Without Written Instructions From Seller(s) | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 12.5.2f | Yes | Yes |
| 4.1.2 | Failure to Include “For Comps Only” in First Line of Confidential Remarks of Listings Entered For That Purpose | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 10.2 | No | Yes |
| 4.1.3 | Failure to Update Offer Date within 1 day After Receiving Revised Written Instructions From Seller(s) | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 12.5.2f | Yes | Yes |
4.2 Misuse of Public Remarks - Publishing any of the following in public remarks:¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 4.2.1 | Telephone Numbers | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 12.5.1 | No | Yes |
| 4.2.2 | Names, Including Company Names | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 12.5.1 | No | Yes |
| 4.2.3 | Email Addresses | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 12.5.1 | No | Yes |
| 4.2.4 | Websites | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 12.5.1 | No | Yes |
| 4.2.5 | Security Code changes | 1st Violation - $250 Fine 2nd Violation - $350 Fine 3rd Violation - $450 Fine | 12.5.1 | No | Yes |
| 4.2.6 | Lockbox Code changes | 1st Violation - $250 Fine 2nd Violation - $350 Fine 3rd Violation - $450 Fine | 12.5.1 | No | Yes |
| 4.2.7 | Virtual Tours | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 12.5.1 | No | Yes |
| 4.2.8 | Vacancy of Property | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 12.5.1 | No | Yes |
| 4.2.9 | Title or Escrow Instructions | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 12.5.1 | No | Yes |
4.3 Misuse of Confidential Remarks¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 4.3.1 | Publishing Security Codes Without Seller’s Written Permission | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - $350 Fine | 12.5.2 | Yes | Yes |
| 4.3.2 | Caution: Title or escrow information may be entered in confidential remarks; however, participants/subscribers should note that any verbiage, which implies a requirement to use a specific title company or escrow service, may be a violation of RESPA. You are advised to seek legal counsel for specific advice when using such verbiage. | ||||
| 4.3.3 | Publishing Reference to Licensed Non-Subscribers Except in the Case of Reciprocal Listings | 1st Violation - $100 Fine 2nd Violation - $200 Fine 3rd Violation - $350 Fine | 12.5.2 | No | Yes |
5 Miscellaneous¶
5.1 Showings and Access¶
| Section | Violation Description | Fine/Action | Applicable Rules Section(s) | Participant Subscriber Complaint Required | Staff Authorized to issue Citation |
|---|---|---|---|---|---|
| 5.1.1 | Showing Access. Properties entered into the system must be available to show within 3 days subject to any tenants rights. | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 9.1.1 | Yes | Yes |
| 5.1.2 | Use of Lockbox Key by Someone Other than Registered Key holder. | Refer to appropriate Association | 13.2 | Yes | No |
| 5.1.3 | Placement of Lockbox Without Written Authority | 1st Violation - $100 Fine 2nd Violation - $200 Fine 3rd Violation - $500 Fine | 13.5 | Yes | Yes |
| 5.1.4 | Unauthorized Entrance into a Listed Property (i.e., Failure to Follow the Showing Instructions) | 1st Violation - $100 Fine 2nd Violation - $200 Fine 3rd Violation - $500 Fine | 13.2.1 | Yes | Yes |
| 5.1.5 | Failure to Remove Lockbox within 1 day after Close of Escrow or expiration/cancellation of listing. | 1st Violation - $100 Fine 2nd Violation - $200 Fine 3rd Violation - $300 Fine | 13.10 | Yes | Yes |
| 5.1.6 | Failure to provide a Kim Users Group approved iBox lockbox when other lockbox types are installed. | 1st Violation - Letter of Warning 2nd Violation - $100 3rd Violation - $200 | 13.2.2 | No | Yes |
| 5.1.7 | Failure to comply with property access key rules | 1st Violation - Letter of Warning 2nd Violation - $50 3rd Violation - $100 | 13.1 | No | Yes |
| 5.1.8 | Failure by cooperating brokers or buyer’s agent to obtain listing agent permission prior to sharing lockbox combinations. | 1st Violation - $250 2nd Violation - $500 each occurrence thereafter | 13.3 | Yes | Yes |
| 5.2 | Violation of IDX rules | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - Loss of IDX Privileges 4-Loss of MLS Privileges | 12.16 | No | Yes |
| 5.3 | Advertising of Listing Filed with the MLS (Outside the scope of IDX) | 1st Violation - Letter of Warning 2nd Violation - $200 Fine 3rd Violation - $300 Fine | 12.8 | No | Yes |
| 5.4 | Failure to Provide Adequate Informational Notice on Print or Non-Print Forms of Advertising or Other Forms of Public Representations | 1st Violation - Letter of Warning 2nd Violation - $100 Fine 3rd Violation - $200 Fine | 12.9 | No | Yes |
| 5.5 | Non-Completion of Any Required MLS Orientation Program Within 60 Days | 1st Violation - Letter of Warning 2nd Violation - $100 Fine | 4.1.1, 4.1.2, 4.2.1, 4.2.2 | No | Yes |
| 5.6 | Failure to Pay Any MLS Fees, Fines or Charges | Suspension Until Paid | 17.1 | No | Yes |
| 5.7 | Violation of VOW rules | 1st Violation - Letter of Warning 2nd Violation - $250 Fine 3rd Violation - Loss of IDX Privileges 4- Loss of MLS Privileges | 12.19 | No | Yes |